Australia-India Strategic Research Fund Guidelines for Round Eight 2014 i

AUSTRALIA-INDIA STRATEGIC
RESEARCH FUND (AISRF)

Guidelines for Round Eight 2014

Indo-Australia Fund for Scientific and Technological Cooperation




Australia-India Strategic Research Fund Guidelines for Round Eight 2014 2
PART 1 - OVERVIEW
1.1 Background and objectives

The Australia-India Strategic Research Fund (AISRF) is a platform for bilateral collaboration in
science, jointly managed and funded by the governments of Australia and India.

Since its establishment in 2006, the AISRF has supported collaborative, leading-edge research
between scientists in India and Australia across a range of agreed priority areas. It has also
helped to build linkages between premier research institutions in both countries.

The AISRF is Australias largest fund dedicated to bilateral science collaboration. It is also one of
Indias largest sources of support for international collaboration in science. The Australian
Governments commitment of $64 million over the ten-year life of the programme (to 2015-16)
supports Australian researchers participation in joint activities with their Indian counterparts. The
Government of India supports costs incurred by the Indian teams.

The objectives of the AISRF are to:

increase the uptake of leading-edge science and technology (S&T) by supporting
collaboration between Australian and Indian researchers in strategically focused, leading-
edge scientific research and technology projects, and strengthening strategic alliances
between Australian and Indian researchers; and
facilitate Australias and Indias access to the global S&T system.


1.2 SUPPORT AVAILABLE UNDER ROUND EIGHT
Applications are sought for proposals in the seventh round of the following AISRF components:
the Indo-Australian Fund for Scientific and Technological Cooperation (Indo-Australian S&T
Fund); and
Support is provided for research projects involving Indian and Australian partners.

1.3 INDO-AUSTRALIAN S&T FUND
The Indo-Australian S&T Fund is jointly managed by the Australian Governments Department of
Industry (DoI) and the Government of Indias Department of Science and Technology (DST).
The priority areas for collaborative research projects in Round Eight of the Indo-Australian S&T
Fund are:
water management; and
agricultural research.
All applications for the Indo-Australian S&T Fund must fall within one of these two priority areas.
Applications not related to either of these areas will not be considered.

1.4 TIMELINE FOR ROUND EIGHT
The call for applications for Round Eight is open for six weeks. The round opens at 10.00am
(Australian Eastern Daylight Saving Time) on 12 March 2014 and closes at 4.00pm (Australian
Eastern Standard Time) on 22 April 2014.
The table below summarises the steps and indicative timing for the selection process for Round
Eight:



Australia-India Strategic Research Fund Guidelines for Round Eight 2014 3
12 March 2014 Round Eight opens for applications
Application form available via www.dst.gov.in
22 April 2014 Closing date for applications
April July 2014 Applications assessed and ranked by AISRF advisory panel
August 2014 Joint meeting between Australian and Indian governments to agree
on final set of projects to be supported
September 2014 Australian and Indian governments announce successful
applications
September November
2014
Funding agreements executed with successful applicants
December 2014 Projects can commence
Please note that the timeline is subject to change. Please refer to the AISRF website for updates
(www.dst.gov.in, www.industry.gov.au/aisrf).
PART 2 - ELIGIBILITY REQUIREMENTS
2.1 Eligibility Criteria
To be eligible to apply for funding under the Indo-Australian S&T Fund, the Indian applicant must:
Seek support for a bilateral collaborative research project in one of the priority areas of
research;
Have obtained the agreement of their proposed Australian research partner to undertake the
project activities;
Be one of the following eligible organisations (or a consortium of eligible organisations):
Education institution;
UGC recognized Universities/ Deemed Universities
Academic Institutes and National Research & Development Laboratories/Institutes
public sector research agency; or
private, not for profit, research organisation (Recognised by Department of Scientific &
Industrial Research, Govt. of India organisation as S&T organisation)
Address each of the Assessment Criteria
Seek funding for eligible expenses; and
Not seek funding for activities funded under another Indian Government program.
2.2 Conditions relating to Eligibility Criteria
AISRF grants are not intended to duplicate support available from other Indian Government
sources. Where an applicant already receives Indian Government funding for their core activities,
the applicant will only be eligible if they can demonstrate that the activity for which funding is
sought is additional to their core activities.
2.3 Eligible activities and expenses
Under the Indo-Australian S&T Fund, the Indian Government will support the direct costs of
bilateral collaborative research projects in one of the priority areas of research

Australia-India Strategic Research Fund Guidelines for Round Eight 2014 4
Indian side will provide for the following expenses:
International economy excursion class return airfares for Indian researchers travelling
to Australia to participate in collaborative research projects (international airfares for
Australian researchers travelling to India will be met by the Australian Government);
Living expenses, including accommodation and meals, for Australian researchers
travelling to India to participate in collaborative research projects and workshops.
Indian side will contribute a maximum of Indian Rs. 1000/ per person per day or Indian
Rs. 25,000/- per person per month whichever is the lesser amount and Guest House
Accommodation Charges (Living expenses, including accommodation and meals, for Indian
researchers travelling to Australia will be met by the Australian Government, Australian side will
contribute a maximum of AUD$300 per person per day, or AUD$4,000 per person per month,
whichever is the lesser amount).
Manpower-Salaries and on-costs for Indian researchers employed specifically for the project
(this includes JRF/RA etc.) as per DST norms.
Consumables
2.4 Costs not eligible for support
The following activities/costs will not be funded by the Indian Government:
any cost incurred prior to the execution of a funding agreement with the Indian Government;
costs that duplicate the in-kind support from the applicant or other participants in the project;
capital expenditure for the purchase of assets such as office furniture, motor vehicles,
computers, printers or photocopiers;
costs involved in the purchase or upgrade/hire of software (including user licenses) and ICT
hardware (unless it can be used only for the project);
administration and infrastructure costs;
Indian project managers salary and salaries for existing staff, including salary related
expenses;
staff recruitment and relocation costs;
international travel and living expenses for undergraduate and Masters students;
costs associated with the protection or patenting of intellectual property;
costs associated with the internal preparation of finance and audit statements; and
debt financing.
2.5 Duration of projects
Projects may range from short bilateral collaborations to more complex projects spanning up to 2
years i.e. 2014-2015 and 2015-2016.
2.6 Cash and in-kind support from other sources
Applicants will be assessed on the level of support that they can procure from both Indian and
Australian organisations (including the applicants own organisation) for the collaborative research
project.
There is no requirement for applicants to demonstrate that the Indian contribution (cash and/or in-
kind) to the project matches or is more than the funding sought from the Indian Government.
Indian contributions to the project may be in cash and/or in-kind. The contributions may be from
the applicants own organisation, or other Indian sources, for example, collaborative participants,

Australia-India Strategic Research Fund Guidelines for Round Eight 2014 5
industry contributions or contributions from other Indian Government funding sources. Salaries for
Project Managers may also be included as an in-kind contribution.
In-kind contributions will be required to be detailed and costed. In-kind costs must be directly
related to costs of delivering the activities of the project and can include salaries of staff for the
time they are involved and other costs incurred for the duration of these activities.
PART 3 - ASSESSMENT CRITERIA AND PROCESS
3.1 Notes on the Assessment Criteria
NOTES ON THE ASSESSMENT CRITERIA
Applicants should note that, in accordance with the value with public money requirements of the
Government of India, they should clearly demonstrate that the intended outcomes cannot be
achieved without grant assistance from the AISRF.
Please note the maximum number of words or pages specified for each criterion, use clear
language, avoid technical jargon wherever possible and spell out acronyms or abbreviations in the
first instance. Include all information and do not refer to other sources, e.g. websites.
Supporting documentation should be provided as listed under each of the criteria.
The information provided in your application must be consistent with that provided by your
Australian partners application to the Government of Australia.
3.2 ASSESSMENT CRITERIA
Applicants will be assessed against the following criteria, all of which must be addressed:
A. The scientific merit of the proposed activity, including the potential of the anticipated outcomes
to advance the knowledge base of the discipline, and the likely impact of the proposed
research.
B. The value of the collaboration between Australia and India.
C. Project plan and budget.
Support for the project from participating Australian and Indian organisations.

This table provides a guide on how to address each of the assessment criteria:

A.
60%
The scientific merit of the proposed research, including the potential of the
anticipated outcomes to advance the knowledge base of the discipline, and its
likely scientific impact.

The following documentation must be provided in support of this criterion:
A written proposal of no more than 10 A4 pages in 12-point Times New
Roman font addressing all of the headings, A1A8, below. All information contained
in the proposal must be consistent with that provided to the Government of Australia
by the Australian partner.
Curricula vitae for both Australian and Indian key personnel identified under
A6. No more than 4 pages for each person.
A letter from the Australian partner confirming both that the proposal is jointly
prepared and that the Australian partner is submitting an equivalent proposal to the
Government of Australia.
A1. Proposal title: Use the same title as the title in the Project Details page of the
online application form. The proposal title must be identical in both the Australian and
Indian applications.
A2. Aims and background: Describe the aims and list the specific objectives of the
proposed research collaboration in the context of recent international progress in the
field of research, detailing how it will relate to, and benefit, work in the field. Refer
only to papers that are available to national and international research communities.
A3. Significance and innovation: Describe

Australia-India Strategic Research Fund Guidelines for Round Eight 2014 6
how the proposed activity is significant;
the need for the proposed activity to address an important problem; and
how the anticipated outcomes will advance the knowledge base of the discipline
and/or address the problem.
A4. Approach and methodology: Outline the conceptual framework, design and
methods, and demonstrate that these are adequately developed, well-integrated and
appropriate to the aims of the proposed research collaboration.
A5. Expected outcomes and benefits resulting from the collaboration: Describe the
expected outcomes and the likely impact of the proposed research collaboration
including the possible tangible benefits for the two sides, including:
how the research collaboration might result in economic, environmental and/or
social benefits for India/ and/or Australia; and
how consortium members will ensure they collaborate effectively over the course
of the project.
A6. Roles and research capability of personnel: Summarise
the role, responsibilities and contributions of each Chief Investigator / Principal
Investigator, Fellow and Partner Investigator, including the proportion of their time
each will spend on this activity;
the leading-edge research capability of the projects Australian and Indian
partners which must be demonstrated by evidence of their academic awards and
citations as contained in the submitted CVs, and/or other measures of research or
innovation excellence (limit 300 words); and
the roles and levels of involvement of other participants, such as technical staff,
including the division of work between Australian and Indian investigators.
A7. References cited: Include a list of all references/documents cited in support of
claims made against Criterion A, within the page limit of 10 A4 pages.
A8. Details of governance arrangements, including intellectual property (IP)
provisions. Provide details of governance arrangements, including use of intellectual
property (IP), the proposed ownership of IP generated by the project and strategies
for protecting Australias interests (limit 300 words).

Demonstrate that you have thought about and planned the governance of the project
and that set arrangements have been organised around the use of IP. For example, a
well-structured response will include more than one sentence stating that the
organisations IP procedures will be followed. Outline how these will be applied and
make it clear to the assessors that a sound governance structure is in place.
B.
15%
The value of collaboration between India and Australia

Describe in no more than 2 A4 pages in 12-point Times New Roman font why
collaboration between the Australian and Indian partner organisations is integral to
achieving the outcomes of the proposed research project.
C.
15%
Project plan and budget

The following documentation must be provided in support of this criterion:
Project plan (no more than 5 A4 pages in 12-point Times New Roman font)
and budget (using the template provided in the application form).
POINTS TO BE ADDRESSED:
Your project plan should be presented as a mature research plan ready for
implementation, leading towards the overall project objectives and include
proposed timelines and milestones. It will form the basis of the funding
agreement between the Australian Government and successful applicants.

Australia-India Strategic Research Fund Guidelines for Round Eight 2014 7
The indicative budget for the Indian applicant should detail eligible expenses for
which AISRF funding is sought from the Indian Government
D.
10%
Level of support for the research project from Indian and Australian organisations
(including the applicants own organisation)

The following documentation must be provided in support of this criterion:
Letter(s) of support from the applicant organisation and, if applicable, any
other Indian partner organisation(s), demonstrating and clearly articulating
the organisations financial support (cash and/or in-kind) for the project,
and a commitment to engage in the research collaboration.
Letter(s) of support from the Australian partner organisation and, if
applicable, any other international partner organisations, demonstrating
and clearly articulating the organisations financial support (cash and/or in-
kind), and a commitment to engage in the research collaboration.
All letters of support must be prepared on official letterhead and be signed by a
person who is authorised to commit such support.
POINTS TO BE ADDRESSED:
This criterion requires the applicant to demonstrate, in no more than 300 words,
the level of support for the research project from Indian and Australian partners
(including the applicants own organisation).
ADDITIONAL NOTES:
The supporting documentation must confirm and demonstrate claims. Support for
the project may encompass either a financial commitment or an in-kind
commitment.
In-kind costs must be directly related to costs of delivering the activities of the
project and can include salaries of staff for the time they are involved, and other
costs incurred for the duration of the activity. The proportion of each staff
members time allocated to the project should be specified.
Total
100%

3.3 Conditions relating to Assessment Criteria
The above criteria provide the basis for assessment of an application. However applicants may be
asked to provide additional information to clarify any issues raised during the assessment process.
The Department may also seek the applicants permission to obtain further advice from third
parties if appropriate.
It is the applicants responsibility to provide all relevant claims and documentation as required in
the Assessment Criteria. Applications that do not provide supporting documentation where
required by the due date will be deemed ineligible.
3.4 Collaborative Research Projects
Supporting documentation checklist to assist with the preparation of your application.
Supporting Documentation Have you attached this to
your application form?
Criterion A: Detailed written proposal that demonstrates the
scientific merit of the research collaboration.


Australia-India Strategic Research Fund Guidelines for Round Eight 2014 8
Supporting Documentation Have you attached this to
your application form?
Criterion A: Letter from the Australian primary partner confirming
that the proposal is jointly prepared. The letter should state that
the Indian partner agrees to submit an equivalent proposal to the
Government of Australia.

Criterion A: Curricula vitae for each of the key personnel (both
Australian and Indian).

Criterion B: Describe why collaboration between the Indian and
Australian partner organisations is integral to achieving the
outcomes of the proposed research project.

Criterion C: Detailed project plan and Indian budget.
Criterion D: Letter of support from the applicant organisation clearly
articulating the organisations financial support (cash and/or in-
kind) for the project and commitment to engage in the research
collaboration.

Criterion D: If applicable, letter of support from any other Indian
partner organisations clearly articulating the organisations financial
support (cash and/or in-kind) for the project and commitment to
engage in the research collaboration.

Criterion D: Letter of support from the Australian partner
organisation clearly articulating the organisations financial support
(cash and/or in-kind) and commitment to engage in the research
collaboration.

Criterion D: If applicable, letter of support from any other
international partner organisations clearly articulating the
organisations financial support (cash and/or in-kind) and
commitment to engage in the research collaboration.

3.5 Eligibility checks and assessment of applications
All applications received by the notified closing date will be checked by the Department to
determine whether they meet the eligibility criteria and relate to eligible activities and expenses as
detailed. The application will then undergo a peer review process by an independent advisory
panel against the assessment criteria.
The Indian and Indian Governments will negotiate on the final set of projects to be supported under
the round and decisions will be final.
3.6 Discrepancies, ambiguities, inconsistencies, errors or omissions in an
application
The Indian and Australian Governments will not accept responsibility for any misunderstanding
arising from the failure by an applicant to comply with the guidelines, or arising from any ambiguity,
discrepancy, error or omission contained in an application.

Applicants are responsible for ensuring the correctness, sufficiency and eligibility of their submitted
application. If an applicant discovers any material discrepancy, ambiguity, inconsistency, error or
omission in their application, they must immediately bring it to the attention of the Department by
email to nvasishta@nic.in

Australia-India Strategic Research Fund Guidelines for Round Eight 2014 9

The Department may request further information from an applicant or referee and allow an
applicant to remedy any errors, omissions etc in an application at any time, including after the
round closing date. The Department reserves the right to consider new information regarding
matters referred to in the original application at any time, including after the round closing date.

The Department reserves the right to allow applicants to correct errors or omissions in submitted
applications. On these matters the Departments decision will be final. No correspondence will be
entered into in relation to the decision other than to inform the applicant of the decision.

Note: Giving false or misleading information is a serious offence.
4. Submitting an application
Applicants for funding should submit this completed application form and all
relevant, clearly labelled attachments in a single email in one MS word file( file name
must indicate applicant name and area code) with to the email address:
nvasishta@nic.in An email acknowledging receipt of the application will be provided
to the applicant. Applications will only be accepted during 12 March, 2014 to 22
April, 2014. Applications close on 22 April, 2014. Three hard copies are to be sent to
Dr. Naveen Vasishta, Scientist E, International Division, Department of Science &
Technology Science & Engineering Research Board, Room No. 19,5 & 5 A, Lower
Ground Floor, Vasant Square Mall, Vasant Kunj, New Delhi - 110070 by 22 April,
2014.


Australia-India Strategic Research Fund Guidelines for Round Eight 2014 10
AUSTRALIA-INDIA STRATEGIC RESEARCH FUND (AISRF)
PROPOSAL FOR DST-DIISRTE JOINT RESEARCH PROJECT FOR FY 2013
(to be used by the Indian Scientists/ Researchers)
Project Ref No. _____________________________
(to be given by DST)
A. PROJECT IDENTIFICATION

1. AREA CODE (Please tick ( ) the appropriate box ):

1.
Water Management

(WM)
2.
Agriculture Research
(AR)

2. TITLE OF THE PROJECT :
(Project title must be identical in both the Australian and Indian applications)
3. PROPOSED DURATION OF THE PROJECT : _________ Months
4. PROJECT INVESTIGATORS & COLLABORATING INSTITUTIONS :
INDIAN PRINCIPAL INVESTIGATOR (PI)
Name
Designation
Department
Institution
Postal Address


Contact Phone No. (o) & (M) : Fax:
E-mail
Date of Birth
AUSTRALIA PRINCIPAL INVESTIGATOR
Name
Designation
Department
Institution
E-mail
5. INDIAN CO-PRINCIPAL INVESTIGATOR (CO-PI)
Name
Designation
Department
Institution
Postal Address


Contact Phone No. (o) & (M) : Fax:
E-mail
Date of Birth


Australia-India Strategic Research Fund Guidelines for Round Eight 2014 11

6. OTHER MEMBERS OF THE INDIAN PROJECT TEAM :
S.
No.
Name & Designation Department & Institute Academic Qualification &
Specialization


7. OTHER MEMBERS OF THE AUSTRALIAESE PROJECT TEAM :
S.
No.
Name & Designation Department & Institute Academic Qualification &
Specialization

Brief Bio-data of Indian and Australiaese PIs and other Indian team members highlighting the
expertise in the proposed field of work alongwith list of publications highlighting those relevant to
the proposed project.
8. ONGOING / COMPLETED PROJECTS WITH THE INDIAN PRINCIPAL INVESTIGATOR :
National Projects:
S. No. Project Title Sponsoring Agency Budget Status

International Projects:
S.
No.
Project Title Name of the Colloborating
Scientist & Institiute
Sponsoring
Agency
Budget Status


A. TECHNICAL INFORMATION

- Aims and background:

Describe the aims, and list the specific objectives, of the proposed research collaboration in the
context of recent international progress in the field of research, detailing how it will relate to, and
benefit, work in the field. Refer only to papers that are available to national and international
research communities.

- Significance and Innovation: Describe
how the proposed activity is significant;
the need for the proposed activity to address an important problem; and
how the anticipated outcomes will advance the knowledge base of the discipline and/or
address the problem.

- Approach and methodology:

Outline the conceptual framework, design and methods, and demonstrate that these are
adequately developed, well integrated and appropriate to the aims of the proposed research
collaboration.

- Expected outcomes and benefits resulting from the collaboration:

Describe the expected outcomes and the likely impact of the proposed research collaboration
including the possible tangible benefits for the two sides, including:
how the research collaboration might result in economic, environmental and/or social benefits
for India and/or Australia; and

Australia-India Strategic Research Fund Guidelines for Round Eight 2014 12
how consortium members will ensure they collaborate effectively over the course of the
project.

- Roles and research capability of personnel: Summarise:
the role, responsibilities and contributions of each Chief Investigator/Principal Investigator,
Fellow and Partner Investigator, including the proportion of their time each will spend on this
activity;
the leading-edge research capability of the projects Indian and Australian partners which must
be demonstrated by evidence of their academic awards and citations as contained in the
submitted CVs, and/or other measures of research or innovation excellence (limit 300 words);
and
the roles and levels of involvement of other participants, such as technical staff, including the
division of work between Indian and Australian investigators.

- References cited:

Include a list of all references/documents cited in support of claims made against Criterion A, within
the page limit of 10 A4 pages.

- Details of governance arrangements, including intellectual property (IP) provisions.

Provide details of governance arrangements, including use of intellectual property (IP), the
proposed ownership of IP generated by the project and strategies for protecting Indians interests
(limit 300 words).

Demonstrate that you have thought about and planned the governance of the project and that set
arrangements have been organised around the use of IP. For example a well-structured response
will include more than one sentence stating that the Organisations IP procedures will be followed.
Outline how these will be applied in your application and make it clear to the assessors that a
sound governance structure is in place





Australia-India Strategic Research Fund Guidelines for Round Eight 2014 13
B. Describe why collaboration between the Indian and Australian partner organisations is
integral to achieving the outcomes of the proposed research project

Australia-India Strategic Research Fund Guidelines for Round Eight 2014 14
C. FINANCIAL AND ADMINISTRATIVE INFORMATION

TOTAL COST OF THE PROJECT :
1. List of equipment and other facilities available in the participating Institutes for
implementation of the project :
(In case facilities of other institutes are utilised, a consent letter from the these institute(s)
may be neclosed)

2.






























* Please indicate the designation of manpower like JRF, RA etc. including their monthly
emoluments as per DST guidelines if any.
# Details of consumables including name and quantity is to be provided with full justification.
Note :i) The PI is to required to submit periodic reports and its continuation in the second
year would depend upon its progress assessed by DST. At the end of each financial
year .the PI is also required to submit the Utilisation Certificates and Statement of
Expenditure in prescribed format.
ii) Visit of one person is to be counted as one visit.
3. Designation and address of the Authorised official in Institute/ University to receive the
grant

4. A letter from the Australian Principal Investigator agreeing with the objectives, work plan
including projected visits from both sides may be enclosed.
5. For transferring the money through electronically (ECS), registration with Central Plan
Scheme and Monitoring System (CPMS) is mandatory, therefore, you are requeired to
Items of expenditure I Year(Rs.) II Year(Rs.) Total
(Rs.)
a)Manpower*


b)Consumables#


c) Visits by Indian scientists to
Australia
(Pl. indicate no. of visits & duration)
International air-fare by lowest
economy class including airport
taxes and airport transfers in India

d) Medical Insurance (silver class)
e) Visa Fee
f) Visits by Australian scientists to
India
(Pl. indicate no. of visits & duration)
g) Accommodation Charges
(Institution guest House as per
actual)
Per diem @1 h) Rs.1000 / per day-per-diem


Total


Over-head 10% on a,b,c


Grand total (Rs.)



Australia-India Strategic Research Fund Guidelines for Round Eight 2014 15
provide us Name of the Agency (Full name), Name and Designation of A/C holder (as per
Bank A/C), Bank Account No., Bank Name and Branch Address, IFSC Code. On receipt of
these information the finance division of DST will release the grant to implement the project.
(ECS format attached)
For registering log on to www.cga.nic.in (ECS detail)
6. We hereby certify the statements above to be true and correct.


Signature with Date Signature with Date
Indian Principal Investigator Indian Co-Principal Investigator



CERTIFICATE OF HEAD OF THE INDIAN INSTITUTION
It is certified that
1) The institution agrees to participate in this joint research project;
2) In the event of the Indian Principal Investigator (PI) leaving the Institute due to retirement or
otherwise, the Co-PI would become the PI and be responsible for completing the project
and submitting the periodic progress report and financial statements;
3) The institution shall provide infrastructure & available facilities as mentioned above, for
implementing the joint project;
4) The institution assumes to undertake financial & other management responsibilities for part
of the project work to be carried out in this institution;
5) The breakup funding for manpower, consumables etc. is available to this project;
6) All necessary formalities as per our institution have been completed.



Signature and seal of the Head of the institution

Australia-India Strategic Research Fund Guidelines for Round Eight 2014 16
Electronic Clearing System (ECS) Format

1 Name of the Agency


2 Name and Designation of A/C holder (as per Bank A/C)


3 Bank Account No.


4 Bank Name and Branch Address


5 IFSC Code


6 MICR Code


7 Name of Principal Investigator


8 E-mail (Agency/ PI)


9 Mobile No. (Agency/ PI)




Agency/ Institution are requested to fill up above mentioned columns for transferring the fund
through electronically.

(Kindly also send scanned copy of the cancelled cheque which has all the requisite details if
possible).